Sr. Assistant General Counsel, Fixed Income

Job Description Summary

The Senior Assistant General Counsel will provide legal support to the Fixed Income Capital Markets (FICM) division of Raymond James, advising fixed income sales and trading, debt research, underwriting, and investment banking on complex transactional, regulatory, and advisory matters. This role is transaction-focused and requires hands-on experience with fixed income products and strong knowledge of the rules and regulations applicable to fixed income products. The Senior Assistant General Counsel will serve as a trusted legal partner to business leadership, exercising independent judgment to enable business activity while managing legal and regulatory risk.

Job Description

Responsibilities:

• Serve as legal coverage for the Fixed Income Capital Markets business, with meaningful ownership of legal matters supporting institutional trading and capital markets activity.
• Draft, review, negotiate, and advise on a broad range of agreements, including:Securities offering and underwriting documentation Distribution Agreements (e.g., MSDAs, AAUs, placement agreements) NDAs, engagement letters, and other commercial agreements
• Advise on legal and regulatory issues affecting fixed income sales and trading (both retail and institutional), including documentation standards, collateral arrangements, and applicable regulatory requirements.
• Assist with and coordinate responses to litigation-related requests or regulatory inquiries (e.g., third-party subpoenas or discovery requests).
• Partner closely with senior sales, trading, research, and investment banking professionals to deliver practical, timely, and commercially sound legal advice.
• Collaborate with Compliance, Risk, and other control functions to address regulatory matters and support effective risk management.
• Manage external counsel in connection with transactions, regulatory matters, and specialized projects.
• Lead or contribute to initiatives that improve processes, consistency, and risk oversight across the FICM business.

Core Competencies

• Ability to operate independently and exercise sound judgment in complex, fast-paced transactional environments.
• Strong drafting and negotiation skills, with attention to detail and commercial outcomes.
• Clear, confident communicator with the ability to engage effectively with senior business partners.
• Practical, solutions-oriented approach to managing legal and regulatory risk.
• Collaborative mindset and comfort working across functions.

What This Role Offers

• Ownership of complex fixed income matters.
• Direct access to senior business leadership and involvement in high-impact transactions.

Qualifications & Experience

• Juris Doctor (J.D.) with strong academic credentials; active bar membership in good standing.
• Eight (8+) years of relevant legal experience advising fixed income capital markets or institutional trading businesses.
• Strong understanding of the legal and regulatory framework applicable to fixed income capital markets (SEC, FINRA, MSRB).
• Experience at a major law firm, financial institution, regulator, or self-regulatory organization; in-house experience strongly preferred.
• Some previous litigation experience preferred.

Education

Juris Doctor (JD): Law (Required)

Work Experience

General Experience - 6 to 10 years

Certifications

State Bar (Any State) - American Bar Association

Travel

Less than 25%

Workstyle

Hybrid

The total compensation for this position includes base salary or wages, and may include components such as additional compensation (cash or equity), discretionary bonuses, or commissions. This position is eligible for a benefits package that may include medical, dental, and vision; life insurance; critical illness insurance and accident insurance; disability benefits; retirement savings; paid time off (including vacation, holidays, and sick leave); and parental leave. Eligibility for benefits and specific offerings may vary based on position and employment status. To view more details of the benefits offered, visit Myrjbenefits.com.

At Raymond James our associates use five guiding behaviors (Develop, Collaborate, Decide, Deliver, Improve) to deliver on the firm's core values of client-first, integrity, independence and a conservative, long-term view.

We expect our associates at all levels to: • Grow professionally and inspire others to do the same • Work with and through others to achieve desired outcomes • Make prompt, pragmatic choices and act with the client in mind • Take ownership and hold themselves and others accountable for delivering results that matter • Contribute to the continuous evolution of the firm

At Raymond James – as part of our people-first culture, we honor, value, and respect the uniqueness, experiences, and backgrounds of all of our Associates. When associates bring their best authentic selves, our organization, clients, and communities thrive. The Company is an equal opportunity employer and makes all employment decisions on the basis of merit and business needs.

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